DFX Intelligence

K•••• N••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)24 years in industry

K•••• N••• S••••

Advisor at S••••• F••••••••

ORANGE, CA

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Search this name across graphsid dfx:ria:2a497246-4c70-4e7c-7da0-0f3ae9f91b64

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 20, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••	Independent wealth	May 30, 2017	n/a	yes	ORANGE, CA	Current employment
O••••••••• S••••••••• I•••	Bd affiliated wealth	Jul 17, 2015	Jan 27, 2017	no	CORONA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• S••••••••• I•••	S••••• F••••••••	Jan 27, 2017	May 30, 2017	123	Firm change	Other
I••••••• S••••••••• I•••	O••••••••• S••••••••• I•••	Oct 15, 2009	Mar 19, 2010

Relationships

Registered with (4)

→ S••••• F••••••••Registered adviserregistration: current employment
May 30, 2017 to presentfactForm ADV
→ O••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 17, 2015 to Jan 27, 2017factForm ADV
→ I••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 30, 2007 to Oct 15, 2009factForm ADV
→ T••••• P•••• S••••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a497246-4c70-4e7c-7da0-0f3ae9f91b64
First observed: Feb 20, 2007
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.